Chief of Regulation overseeing programmatic and operational activities for Florida's Division of Licensing. Responsible for budget management and ensuring compliance with policies and procedures.
About the role
- Controls & Compliance Testing Analyst supporting Risk & Compliance for digital wealth manager. Focusing on compliance monitoring, controls testing, and process improvements in a growing firm.
Responsibilities
- Deliver compliance monitoring and controls testing across key regulatory areas.
- Support the risk framework: risk registers, RCSAs, control libraries and documentation.
- Manage operational incidents end-to-end, including root-cause analysis and remediation tracking.
- Produce clear, data-driven MI and reporting for senior management.
- Identify and implement opportunities for automation of controls testing and monitoring.
- Provide 2nd Line challenge to the business and support thematic reviews and audits.
Requirements
- Fluent Italian and English (written and spoken).
- Experience in compliance monitoring, controls testing, risk or audit in financial services.
- Knowledge of key regulations (MiFID II, SYSC, PRIN, Consumer Duty, AML/KYC).
- Strong analytical skills and attention to detail.
- Proficiency with Excel; interest in workflow tools or automation.
- Clear written communication and ability to challenge constructively.
- Experience in fintech, digital wealth or investment services.
- Exposure to Power BI, SQL, Python or other automation technologies.
- Degree in Finance, Economics, Risk, Law, Engineering or similar.
- Professional certifications (e.g., IRM, ICA, CISI) are a plus.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
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